Agency Information Collection Activities; Submission to the Office of Management and Budget (OMB) for Review and Approval; Comment Request; Rules for Patent Maintenance Fees, 22936-22939 [2021-09035]
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Federal Register / Vol. 86, No. 82 / Friday, April 30, 2021 / Notices
after the date of publication of this
notice. Rebuttal briefs, limited to issues
raised in the case briefs, may be filed no
later than seven days after the case
briefs, in accordance with 19 CFR
351.309(d). Parties who submit case or
rebuttal briefs are encouraged to submit
with each argument: (1) a statement of
the issue; (2) a brief summary of the
argument; and (3) a table of
authorities.14 All comments are to be
filed electronically using Enforcement
and Compliance’s Antidumping and
Countervailing Duty Centralized
Electronic Service System (ACCESS)
available to registered users at https://
access.trade.gov, and must also be
served on interested parties. An
electronically filed document must be
received successfully in its entirety by
ACCESS by 5:00 p.m. Eastern Time on
the day it is due.15 Note that Commerce
has temporarily modified certain of its
requirements for serving documents
containing business proprietary
information, until further notice.16
Consistent with 19 CFR 351.216(e),
we will issue the final results of this
CCR no later than 270 days after the
date on which this review was initiated,
or within 45 days if all parties agree to
our preliminary finding. This notice is
published in accordance with sections
751(b)(1) and 777(i) of the Act and 19
CFR 351.216(b), 351.221(b) and
351.221(c)(3).
Dated: April 23, 2021.
Ryan Majerus,
Deputy Assistant Secretary for Policy and
Negotiations.
[FR Doc. 2021–09071 Filed 4–29–21; 8:45 am]
BILLING CODE P
DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric
Administration
National Integrated Drought
Information System (NIDIS) Executive
Council Meeting
National Oceanic and
Atmospheric Administration (NOAA),
Department of Commerce (DOC).
ACTION: Notice of open meeting.
AGENCY:
The National Integrated
Drought Information System (NIDIS)
Program Office will hold a virtual,
organizational meeting of the NIDIS
Executive Council on May 4, 2021.
jbell on DSKJLSW7X2PROD with NOTICES
SUMMARY:
14 See
19 CFR 351.309(c)(2).
19 CFR 351.303(b).
16 See Temporary Rule Modifying AD/CVD
Service Requirements Due to COVID–19; Extension
of Effective Period, 85 FR 41363 (July 10, 2020).
15 See
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The meeting will be held
Tuesday, May 4, 2021 from 11:00 a.m.
EST to 2:00 p.m. EST. These times and
the agenda topics are subject to change.
ADDRESSES: The meeting will be held
virtually. To register, please visit:
https://cpaess.ucar.edu/meetings/2021nidis. You must register online to
receive the webcast meeting link and
audio teleconference information for
participation.
DATES:
FOR FURTHER INFORMATION CONTACT:
Veva Deheza, NIDIS Executive Director,
David Skaggs Research Center, Room
GD102, 325 Broadway, Boulder, CO
80305. Phone Number: 303–487–3431;
Email: Veva.Deheza@noaa.gov; or visit
the NIDIS website at www.drought.gov.
SUPPLEMENTARY INFORMATION: The
National Integrated Drought Information
System (NIDIS) was established by
Public Law 109–430 on December 20,
2006, and reauthorized by Public Law
113–86 on March 6, 2014 and Public
Law 115–423 on January 7, 2019 , with
a mandate to provide an effective
drought early warning system for the
United States; coordinate, and integrate
as practicable, Federal research in
support of a drought early warning
system; and build upon existing
forecasting and assessment programs
and partnerships. See 15 U.S.C. 313d.
The Public Law also calls for
consultation with ‘‘relevant Federal,
regional, State, tribal, and local
government agencies, research
institutions, and the private sector’’ in
the development of NIDIS. 15 U.S.C.
313d(c). The NIDIS Executive Council
provides the NIDIS Program Office with
an opportunity to engage in individual
consultation with senior resource
officials from NIDIS’s Federal partners,
as well as leaders from state and local
government, academia,
nongovernmental organizations, and the
private sector.
Status: This meeting will be open to
public participation. Individuals
interested in attending should register at
https://cpaess.ucar.edu/meetings/2021nidis. Please refer to this web page for
the most up-to-date meeting times and
agenda.
Matters to be Considered: The
meeting will include the following
topics: (1) NIDIS implementation
updates and 2021 priorities, including
response to current drought conditions
in the Western United States, (2)
Executive Council member updates
relevant to Climate Adaptation and
Resilience, Drought, Water, and Fire, (3)
Federal Agency Water and Drought
Priorities, Executive Orders, and
Legislative Updates, and (4) NIDIS
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Implementation Plan 2021–2025 as well
as program growth and emerging issues.
Dated: April 21, 2021.
David Holst,
Chief Financial Officer/Administrative
Officer, Office of Oceanic and Atmospheric
Research, National Oceanic and Atmospheric
Administration.
[FR Doc. 2021–09080 Filed 4–29–21; 8:45 am]
BILLING CODE 3510–KB–P
DEPARTMENT OF COMMERCE
United States Patent and Trademark
Office
Agency Information Collection
Activities; Submission to the Office of
Management and Budget (OMB) for
Review and Approval; Comment
Request; Rules for Patent Maintenance
Fees
United States Patent and
Trademark Office, Department of
Commerce.
ACTION: Notice of information collection;
request for comment.
AGENCY:
The United States Patent and
Trademark Office (USPTO), in
accordance with the Paperwork
Reduction Act of 1995, invites
comments on the extension and revision
of an existing information collection:
0651–0016 (Rules for Patent
Maintenance Fees). The purpose of this
notice is to allow 60 days for public
comment preceding submission of the
information collection to OMB.
DATES: To ensure consideration,
comments regarding this information
collection must be received on or before
June 29, 2021.
ADDRESSES: Interested persons are
invited to submit written comments by
any of the following methods. Do not
submit Confidential Business
Information or otherwise sensitive or
protected information.
• Email: InformationCollection@
uspto.gov. Include ‘‘0651–0016
comment’’ in the subject line of the
message.
• Federal Rulemaking Portal: https://
www.regulations.gov.
• Mail: Kimberly Hardy, Office of the
Chief Administrative Officer, United
States Patent and Trademark Office,
P.O. Box 1450, Alexandria, VA 22313–
1450.
FOR FURTHER INFORMATION CONTACT:
Requests for additional information
should be directed to Parikha Mehta,
Patent Examination Policy Advisor,
Office of Patent Legal Administration,
United States Patent and Trademark
Office (USPTO), P.O. Box 1450,
SUMMARY:
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Federal Register / Vol. 86, No. 82 / Friday, April 30, 2021 / Notices
Alexandria, VA 22313–1450; by
telephone at 571–272–3248; or by email
at Parikha.Mehta@uspto.gov with
‘‘0651–0016 comment’’ in the subject
line. Additional information about this
information collection is also available
at https://www.reginfo.gov under
‘‘Information Collection Review.’’
SUPPLEMENTARY INFORMATION:
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I. Abstract
Under 35 U.S.C. 41 and 37 CFR
1.20(e)–(h), 1.362, 1.363, 1.366, 1.377,
and 1.378, the United States Patent and
Trademark Office (USPTO) charges fees
for maintaining in force all utility
patents based on applications filed on or
after December 12, 1980. Payment of
these maintenance fees is due at 31⁄2,
71⁄2, and 111⁄2 years after the date the
patent was granted. If the USPTO does
not receive payment of the appropriate
maintenance fee and any applicable
surcharge within a grace period of six
months following each of the above due
dates (at 4, 8, or 12 years after the date
of grant), the patent will expire at that
time. After a patent expires, it is no
longer enforceable. Maintenance fees are
not required for design, plant, or reissue
patents if the patent being reissued did
not require maintenance fees.
Payments of maintenance fees that are
submitted during the 6-month grace
period before patent expiration must
include the appropriate surcharge as
indicated by 37 CFR 1.20(h).
Submissions of maintenance fee
payments and surcharges must include
the relevant patent number and the
corresponding United States application
number in order to identify the correct
patent and ensure proper crediting of
the fee being paid.
If the USPTO refuses to accept and
record a maintenance fee payment that
was submitted prior to the expiration of
a patent, the patentee may petition the
Director to accept and record the
maintenance fee under 37 CFR 1.377.
This petition must be accompanied by
the fee indicated in 37 CFR 1.17(g),
which may be refunded if it is
determined that the refusal to accept the
maintenance fee was due to an error by
the USPTO.
If a patent has expired due to
nonpayment of a maintenance fee, the
patentee may petition the Director to
accept a delayed payment of the
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maintenance fee under 37 CFR 1.378.
The Director may accept the payment of
a maintenance fee after the expiration of
the patent if the petitioner shows to the
satisfaction of the Director that the delay
in payment was unintentional. Petitions
to accept unintentionally delayed
payment must also be accompanied by
the required maintenance fee and the
petition fee as set forth in 37 CFR
1.17(m). If the Director accepts the
maintenance fee payment upon petition,
then the patent is reinstated. If the
USPTO denies a petition to accept
delayed payment of a maintenance fee
in an expired patent, the patentee may
petition the Director to reconsider that
decision under 37 CFR 1.378(d).
The rules of practice (37 CFR 1.33(d)
and 1.363) permit applicants, patentees,
assignees, or their representatives of
record to specify a ‘‘fee address’’ for
correspondence related to maintenance
fees that is separate from the
correspondence address associated with
a patent or application. A fee address
must be an address that is associated
with a USPTO customer number.
Customer numbers may be requested by
using the Request for Customer Number
Form (PTO/SB/125), which is covered
under OMB control number 0651–0035.
Maintaining a correct and updated
address is necessary so that fee-related
correspondence from the USPTO will be
properly received by the applicant,
patentee, assignee, or authorized
representative. If a separate fee address
is not specified for a patent or
application, the USPTO will direct feerelated correspondence to the
correspondence address of record.
This information collection covers the
forms needed to submit a patent
maintenance fee payment (PTO/SB/45
and AIA/47) and to designate or change
a fee address (PTO/SB/47). The USPTO
also offers two different versions of the
form for petitions to accept
unintentionally delayed payment of
maintenance fee in an expired patent
under 37 CFR 1.378(b). In addition to
the PDF version that may be completed
electronically, the USPTO also offers a
Web-based ePetition. Customers may
also submit maintenance fee payments
and surcharges incurred during the 6month grace period before patent
expiration by using the Maintenance
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22937
Fee Transmittal Form (PTO/SB/45) or
by paying online through the USPTO’s
online Patent Maintenance Fees
Storefront. However, to pay a
maintenance fee after patent expiration,
the maintenance fee payment and the
petition fee, as set forth in 37 CFR
1.17(m), must be filed together with a
petition to accept unintentionally
delayed payment. The USPTO accepts
online maintenance fee payments by
credit card, deposit account, or
electronic funds transfer (EFT).
Otherwise, non-electronic payments
may be made by check, credit card, or
deposit account.
II. Method of Collection
Items in this information collection
may be submitted via online electronic
submissions. In limited circumstances,
applicants may be permitted to submit
the information in paper form by mail,
fax, or hand delivery.
III. Data
OMB Number: 0651–0016.
Form Numbers:
• PTO/SB/45 (Maintenance Fee
Transmittal Form)
• PTO/SB/47 (‘‘Fee Address’’ Indication
Form)
• PTO/SB/66 (Petition to Accept
Unintentionally Delayed Payment of
Maintenance Fee in an Expired Patent
(37 CFR 1.378(b))
Type of Review: Extension and
revision of a currently approved
information collection.
Affected Public: Private sector;
individuals or households.
Estimated Number of Respondents:
577,892 per year.
Estimated Number of Responses:
577,892 per year.
Estimated Time per Response: The
USPTO estimates that it takes the public
approximately 0.5 minutes (0.01 hours)
to 8 hours to complete this information,
depending upon the item. This includes
the time to gather the necessary
information, prepare and maintain the
documents, and submit the items to the
USPTO.
Estimated Total Annual Hour Burden:
12,945 hours.
Estimated Total Annual Cost Burden
(Hourly): $2,771,565.
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Federal Register / Vol. 86, No. 82 / Friday, April 30, 2021 / Notices
TABLE 1—BURDEN HOUR/BURDEN COST TO RESPONDENTS FOR PRIVATE SECTOR
Item No.
Estimated
annual
respondents
Item
1 ...........................
2 ...........................
3 ...........................
4 ...........................
5 ...........................
6 ...........................
Totals ............
Maintenance Fee Transmittal
Transactions (PTO/SB/45).
Electronic Maintenance Fee
Transactions.
Petition to Accept Unintentionally Delayed Payment of
Maintenance Fee in an Expired
Patent
(37
CFR
1.378(b)) (PTO/SB/66).
Petition to Review Refusal to
Accept Payment of Maintenance Fee Prior to Expiration
of Patent (37 CFR 1.377).
Petition for Reconsideration of
Decision on Petition Refusing
to Accept Delayed Payment
of Maintenance Fee in an Expired
Patent
(37
CFR
1.378(d)).
‘‘Fee Address’’ Indication Form
(PTO/SB/47).
....................................................
Estimated
annual
responses
(year)
Estimated time
for response
(hours)
Estimated
annual burden
(hour/year)
Rate 1
($/hour)
Estimated
annual
respondent
cost burden
(a)
(b)
(a) × (b) = (c)
(d)
(c) × (d) = (e)
9,923
9,923
0.08 (5 minutes) .........
794
$145
$115,130
486,092
486,092
0.01 (0.5 minutes) ......
4,861
145
704,845
2,288
2,288
1 ..................................
2,288
400
915,200
1
1
4 ..................................
4
400
1,600
121
121
8 ..................................
968
400
387,200
39,013
39,013
0.08 (5 minutes) .........
3,121
145
$452,545
537,438
537,438
.....................................
12,036
........................
2,576,520
1 2019
Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association (AIPLA);
https://www.aipla.org/detail/journal-issue/2019-report-of-the-economic-survey. The USPTO uses the mean rate for attorneys in private firms which is $400 per hour.
The hourly rate for paraprofessional/paralegals is estimated at $145 from data published in the 2018 Utilization and Compensation Survey by the National Association
of Legal Assistants (NALA).
TABLE 2—BURDEN HOUR/BURDEN COST TO RESPONDENTS FOR RULES FOR INDIVIDUALS OR HOUSEHOLDS
Estimated
annual
responses
(year)
Estimated
annual
respondents
Item No.
Item
1 ...........................
Maintenance Fee Transmittal
Transactions (PTO/SB/45).
Electronic Maintenance Fee
Transactions.
Petition to Accept Unintentionally Delayed Payment of
Maintenance Fee in an Expired
Patent
(37
CFR
1.378(b)) (PTO/SB/66).
Petition to Review Refusal to
Accept Payment of Maintenance Fee Prior to Expiration
of Patent (37 CFR 1.377).
Petition for Reconsideration of
Decision on Petition Refusing
to Accept Delayed Payment
of Maintenance Fee in an Expired
Patent
(37
CFR
1.378(d)).
‘‘Fee Address’’ Indication Form
(PTO/SB/47).
(a)
2 ...........................
4 ...........................
5 ...........................
6 ...........................
7 ...........................
Totals ............
....................................................
Estimated time
for response
(hours)
Estimated
annual burden
(hour/year)
Rate 2
($/hour)
Estimated
annual
respondent
cost burden
(b)
(a) × (b) = (c)
(d)
(c) × (d) = (e)
747
747
0.08 (5 minutes) .........
60
$145
$8,700
36,588
36,588
0.01 (0.5 minute) ........
366
145
53,070
172
172
1 ..................................
172
400
68,800
1
1
4 ..................................
4
400
1,600
9
9
8 ..................................
72
400
28,800
2,937
2,937
0.08 (5 minutes) .........
235
145
34,075
40,454
40,454
.....................................
909
........................
195,045
2 2019
jbell on DSKJLSW7X2PROD with NOTICES
Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association (AIPLA);
https://www.aipla.org/detail/journal-issue/2019-report-of-the-economic-survey. The USPTO uses the mean rate for attorneys in private firms which is $400 per hour.
The hourly rate for paraprofessional/paralegals is estimated at $145 from data published in the 2018 Utilization and Compensation Survey by the National Association
of Legal Assistants (NALA).
Estimated Total Annual Cost Burden
(Non-Hourly): $1,586,634,038. This
information collection has no capital
start-up, maintenance, or operating fees.
This information collection does has
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filing fees and postage costs. The filing
fees are associated with the
maintenance of patents, which are listed
in the table below. The total non-hour
respondent cost burden for this
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information collection in the form of
filing fees ($1,586,633,000) and postage
costs ($1,038) is approximately
$1,586,634,038.
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Federal Register / Vol. 86, No. 82 / Friday, April 30, 2021 / Notices
TABLE 3—FILING FEES—NON-HOUR COST BURDEN FOR RULES FOR PATENT MAINTENANCE FEES
Item No.
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
3
Item
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
Filing fee
Burden $
(a)
(b)
(a) × (b) = (c)
For Maintaining an Original or Any Reissue Patent, Due at 3.5 Years (undiscounted entity)
For Maintaining an Original or Any Reissue Patent, Due at 3.5 Years (small entity) ..............
For Maintaining an Original or Any Reissue Patent, Due at 3.5 Years (micro entity) .............
For Maintaining an Original or Any Reissue Patent, Due at 7.5 Years (undiscounted entity)
For Maintaining an Original or Any Reissue Patent, Due at 7.5 Years (small entity) ..............
For Maintaining an Original or Any Reissue Patent, Due at 7.5 Years (micro entity) .............
For Maintaining an Original or Any Reissue Patent, Due at 11.5 Years (undiscounted entity)
For Maintaining an Original or Any Reissue Patent, Due at 11.5 Years (small entity) ............
For Maintaining an Original or Any Reissue Patent, Due at 11.5 Years (micro entity) ...........
Surcharge—3.5 year—Late Payment Within 6 Months (undiscounted entity) .........................
Surcharge—3.5 year—Late Payment Within 6 Months (small entity) ......................................
Surcharge—3.5 year—Late Payment Within 6 Months (micro entity) ......................................
Surcharge—7.5 year—Late Payment Within 6 Months (undiscounted entity) .........................
Surcharge—7.5 year—Late Payment Within 6 Months (small entity) ......................................
Surcharge—7.5 year—Late Payment Within 6 Months (micro entity) ......................................
Surcharge—11.5 year—Late Payment Within 6 Months (undiscounted entity) .......................
Surcharge—11.5 year—Late Payment Within 6 Months (small entity) ....................................
Surcharge—11.5 year—Late Payment Within 6 Months (micro entity) ....................................
Petition for the Delayed Payment of the Fee for Maintaining a Patent in Force
(undiscounted entity).
Petition for the Delayed Payment of the Fee for Maintaining a Patent in Force (small entity)
Petition for the Delayed Payment of the Fee for Maintaining a Patent in Force (micro entity)
220,200
49,000
4,500
134,500
26,600
1,500
63,800
9,200
600
3,600
6,450
1,200
2,550
3,550
450
1,450
1,500
250
650
$2,000
1,000
500
3,760
1,880
940
7,700
3,850
1,925
500
250
125
500
250
125
500
250
125
2,100
$440,400,000
49,000,000
2,250,000
505,720,000
50,008,000
1,410,000
491,260,000
35,420,000
1,155,000
1,800,000
1,612,500
150,000
1,275,000
887,500
56,250
725,000
375,000
31,250
1,365,000
1,500
300
1,050
525
1,575,000
157,500
Totals .............................................................................................................................................................................
........................
........................
1,586,633,000
3 ............................
3 ............................
The public may submit the forms and
petitions in this information collection
to the USPTO by mail through the
United States Postal Service. The
USPTO estimates that the average
postage cost for a mailed submission,
using a Priority Mail 2-day flat rate legal
envelope, will be $8.05. The USPTO
estimates approximately 129
submissions per year may be mailed to
the USPTO, for a total postage cost of
$1,038 per year.
Respondent’s Obligation: Required to
obtain or retain benefits.
IV. Request for Comments
jbell on DSKJLSW7X2PROD with NOTICES
Responses
The USPTO is soliciting public
comments to:
(a) Evaluate whether the proposed
collection of information is necessary
for the proper performance of the
functions of the Agency, including
whether the information will have
practical utility;
(b) Evaluate the accuracy of the
Agency’s estimate of the burden of the
proposed collection of information,
including the validity of the
methodology and assumptions used;
(c) Enhance the quality, utility, and
clarity of the information to be
collected; and
(d) Minimize the burden of the
collection of information on those who
are to respond, including through the
use of appropriate automated,
electronic, mechanical, or other
technological collection techniques or
other forms of information technology,
e.g., permitting electronic submission of
responses.
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All comments submitted in response
to this notice are a matter of public
record. USPTO will include or
summarize each comment in the request
to OMB to approve this information
collection. Before including an address,
phone number, email address, or other
personal identifying information (PII) in
a comment, be aware that the entire
comment—including PII—may be made
publicly available at any time. While
you may ask in your comment to
withhold PII from public view, USPTO
cannot guarantee that it will be able to
do so.
Kimberly Hardy,
Information Collections Officer, Office of the
Chief Administrative Officer, United States
Patent and Trademark Office.
[FR Doc. 2021–09035 Filed 4–29–21; 8:45 am]
BILLING CODE 3510–16–P
DEPARTMENT OF COMMERCE
United States Patent and Trademark
Office
Agency Information Collection
Activities; Submission to the Office of
Management and Budget (OMB) for
Review and Approval; Comment
Request; Third-Party Submissions and
Protests
Notice of information collection;
request for comment.
ACTION:
The United States Patent and
Trademark Office (USPTO), in
accordance with the Paperwork
Reduction Act of 1995, invites
SUMMARY:
PO 00000
Frm 00009
Fmt 4703
Sfmt 4703
comments on the extension and revision
of an existing information collection:
0651–0062 (Third-Party Submissions
and Protests). The purpose of this notice
is to allow 60 days for public comment
preceding submission of the information
collection to OMB.
DATES: To ensure consideration,
comments regarding this information
collection must be received on or before
June 29, 2021.
ADDRESSES: Interested persons are
invited to submit written comments by
any of the following methods. Do not
submit Confidential Business
Information or otherwise sensitive or
protected information.
• Email: InformationCollection@
uspto.gov. Include ‘‘0651–0062
comment’’ in the subject line of the
message.
• Federal Rulemaking Portal: https://
www.regulations.gov.
• Mail: Kimberly Hardy, Office of the
Chief Administrative Officer, United
States Patent and Trademark Office,
P.O. Box 1450, Alexandria, VA 22313–
1450.
FOR FURTHER INFORMATION CONTACT:
Requests for additional information
should be directed to Parikha Mehta,
Patent Examination Policy Advisor,
Office of Patent Legal Administration,
United States Patent and Trademark
Office, P.O. Box 1450, Alexandria, VA
22313–1450; by telephone at 571–272–
3248; or by email to Parikha.Mehta@
uspto.gov with ‘‘0651–0062 comment’’
in the subject line. Additional
information about this information
collection is also available at https://
E:\FR\FM\30APN1.SGM
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]]>Agencies
[Federal Register Volume 86, Number 82 (Friday, April 30, 2021)]
[Notices]
[Pages 22936-22939]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-09035]
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
United States Patent and Trademark Office
Agency Information Collection Activities; Submission to the
Office of Management and Budget (OMB) for Review and Approval; Comment
Request; Rules for Patent Maintenance Fees
AGENCY: United States Patent and Trademark Office, Department of
Commerce.
ACTION: Notice of information collection; request for comment.
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SUMMARY: The United States Patent and Trademark Office (USPTO), in
accordance with the Paperwork Reduction Act of 1995, invites comments
on the extension and revision of an existing information collection:
0651-0016 (Rules for Patent Maintenance Fees). The purpose of this
notice is to allow 60 days for public comment preceding submission of
the information collection to OMB.
DATES: To ensure consideration, comments regarding this information
collection must be received on or before June 29, 2021.
ADDRESSES: Interested persons are invited to submit written comments by
any of the following methods. Do not submit Confidential Business
Information or otherwise sensitive or protected information.
Email: [email protected]. Include ``0651-
0016 comment'' in the subject line of the message.
Federal Rulemaking Portal: https://www.regulations.gov.
Mail: Kimberly Hardy, Office of the Chief Administrative
Officer, United States Patent and Trademark Office, P.O. Box 1450,
Alexandria, VA 22313-1450.
FOR FURTHER INFORMATION CONTACT: Requests for additional information
should be directed to Parikha Mehta, Patent Examination Policy Advisor,
Office of Patent Legal Administration, United States Patent and
Trademark Office (USPTO), P.O. Box 1450,
[[Page 22937]]
Alexandria, VA 22313-1450; by telephone at 571-272-3248; or by email at
[email protected] with ``0651-0016 comment'' in the subject line.
Additional information about this information collection is also
available at https://www.reginfo.gov under ``Information Collection
Review.''
SUPPLEMENTARY INFORMATION:
I. Abstract
Under 35 U.S.C. 41 and 37 CFR 1.20(e)-(h), 1.362, 1.363, 1.366,
1.377, and 1.378, the United States Patent and Trademark Office (USPTO)
charges fees for maintaining in force all utility patents based on
applications filed on or after December 12, 1980. Payment of these
maintenance fees is due at 3\1/2\, 7\1/2\, and 11\1/2\ years after the
date the patent was granted. If the USPTO does not receive payment of
the appropriate maintenance fee and any applicable surcharge within a
grace period of six months following each of the above due dates (at 4,
8, or 12 years after the date of grant), the patent will expire at that
time. After a patent expires, it is no longer enforceable. Maintenance
fees are not required for design, plant, or reissue patents if the
patent being reissued did not require maintenance fees.
Payments of maintenance fees that are submitted during the 6-month
grace period before patent expiration must include the appropriate
surcharge as indicated by 37 CFR 1.20(h). Submissions of maintenance
fee payments and surcharges must include the relevant patent number and
the corresponding United States application number in order to identify
the correct patent and ensure proper crediting of the fee being paid.
If the USPTO refuses to accept and record a maintenance fee payment
that was submitted prior to the expiration of a patent, the patentee
may petition the Director to accept and record the maintenance fee
under 37 CFR 1.377. This petition must be accompanied by the fee
indicated in 37 CFR 1.17(g), which may be refunded if it is determined
that the refusal to accept the maintenance fee was due to an error by
the USPTO.
If a patent has expired due to nonpayment of a maintenance fee, the
patentee may petition the Director to accept a delayed payment of the
maintenance fee under 37 CFR 1.378. The Director may accept the payment
of a maintenance fee after the expiration of the patent if the
petitioner shows to the satisfaction of the Director that the delay in
payment was unintentional. Petitions to accept unintentionally delayed
payment must also be accompanied by the required maintenance fee and
the petition fee as set forth in 37 CFR 1.17(m). If the Director
accepts the maintenance fee payment upon petition, then the patent is
reinstated. If the USPTO denies a petition to accept delayed payment of
a maintenance fee in an expired patent, the patentee may petition the
Director to reconsider that decision under 37 CFR 1.378(d).
The rules of practice (37 CFR 1.33(d) and 1.363) permit applicants,
patentees, assignees, or their representatives of record to specify a
``fee address'' for correspondence related to maintenance fees that is
separate from the correspondence address associated with a patent or
application. A fee address must be an address that is associated with a
USPTO customer number. Customer numbers may be requested by using the
Request for Customer Number Form (PTO/SB/125), which is covered under
OMB control number 0651-0035. Maintaining a correct and updated address
is necessary so that fee-related correspondence from the USPTO will be
properly received by the applicant, patentee, assignee, or authorized
representative. If a separate fee address is not specified for a patent
or application, the USPTO will direct fee-related correspondence to the
correspondence address of record.
This information collection covers the forms needed to submit a
patent maintenance fee payment (PTO/SB/45 and AIA/47) and to designate
or change a fee address (PTO/SB/47). The USPTO also offers two
different versions of the form for petitions to accept unintentionally
delayed payment of maintenance fee in an expired patent under 37 CFR
1.378(b). In addition to the PDF version that may be completed
electronically, the USPTO also offers a Web-based ePetition. Customers
may also submit maintenance fee payments and surcharges incurred during
the 6-month grace period before patent expiration by using the
Maintenance Fee Transmittal Form (PTO/SB/45) or by paying online
through the USPTO's online Patent Maintenance Fees Storefront. However,
to pay a maintenance fee after patent expiration, the maintenance fee
payment and the petition fee, as set forth in 37 CFR 1.17(m), must be
filed together with a petition to accept unintentionally delayed
payment. The USPTO accepts online maintenance fee payments by credit
card, deposit account, or electronic funds transfer (EFT). Otherwise,
non-electronic payments may be made by check, credit card, or deposit
account.
II. Method of Collection
Items in this information collection may be submitted via online
electronic submissions. In limited circumstances, applicants may be
permitted to submit the information in paper form by mail, fax, or hand
delivery.
III. Data
OMB Number: 0651-0016.
Form Numbers:
PTO/SB/45 (Maintenance Fee Transmittal Form)
PTO/SB/47 (``Fee Address'' Indication Form)
PTO/SB/66 (Petition to Accept Unintentionally Delayed Payment
of Maintenance Fee in an Expired Patent (37 CFR 1.378(b))
Type of Review: Extension and revision of a currently approved
information collection.
Affected Public: Private sector; individuals or households.
Estimated Number of Respondents: 577,892 per year.
Estimated Number of Responses: 577,892 per year.
Estimated Time per Response: The USPTO estimates that it takes the
public approximately 0.5 minutes (0.01 hours) to 8 hours to complete
this information, depending upon the item. This includes the time to
gather the necessary information, prepare and maintain the documents,
and submit the items to the USPTO.
Estimated Total Annual Hour Burden: 12,945 hours.
Estimated Total Annual Cost Burden (Hourly): $2,771,565.
[[Page 22938]]
Table 1--Burden Hour/Burden Cost to Respondents for Private Sector
--------------------------------------------------------------------------------------------------------------------------------------------------------
Estimated Estimated
Estimated annual Estimated time for Estimated Rate \1\ ($/ annual
Item No. Item annual responses response (hours) annual burden hour) respondent
respondents (year) (hour/year) cost burden
(a) (b)........................ (a) x (b) = (d) (c) x (d) =
(c) (e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1...................... Maintenance Fee 9,923 9,923 0.08 (5 minutes)........... 794 $145 $115,130
Transmittal
Transactions (PTO/
SB/45).
2...................... Electronic 486,092 486,092 0.01 (0.5 minutes)......... 4,861 145 704,845
Maintenance Fee
Transactions.
3...................... Petition to Accept 2,288 2,288 1.......................... 2,288 400 915,200
Unintentionally
Delayed Payment
of Maintenance
Fee in an Expired
Patent (37 CFR
1.378(b)) (PTO/SB/
66).
4...................... Petition to Review 1 1 4.......................... 4 400 1,600
Refusal to Accept
Payment of
Maintenance Fee
Prior to
Expiration of
Patent (37 CFR
1.377).
5...................... Petition for 121 121 8.......................... 968 400 387,200
Reconsideration
of Decision on
Petition Refusing
to Accept Delayed
Payment of
Maintenance Fee
in an Expired
Patent (37 CFR
1.378(d)).
6...................... ``Fee Address'' 39,013 39,013 0.08 (5 minutes)........... 3,121 145 $452,545
Indication Form
(PTO/SB/47).
------------------------------------------------------------------------------------------------------------
Totals............. .................. 537,438 537,438 ........................... 12,036 .............. 2,576,520
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ 2019 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association
(AIPLA); https://www.aipla.org/detail/journal-issue/2019-report-of-the-economic-survey. The USPTO uses the mean rate for attorneys in private firms
which is $400 per hour. The hourly rate for paraprofessional/paralegals is estimated at $145 from data published in the 2018 Utilization and
Compensation Survey by the National Association of Legal Assistants (NALA).
Table 2--Burden Hour/Burden Cost to Respondents for Rules for Individuals or Households
--------------------------------------------------------------------------------------------------------------------------------------------------------
Estimated Estimated
Estimated annual Estimated time for Estimated Rate \2\ ($/ annual
Item No. Item annual responses response (hours) annual burden hour) respondent
respondents (year) (hour/year) cost burden
(a) (b)........................ (a) x (b) = (d) (c) x (d) =
(c) (e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1...................... Maintenance Fee 747 747 0.08 (5 minutes)........... 60 $145 $8,700
Transmittal
Transactions (PTO/
SB/45).
2...................... Electronic 36,588 36,588 0.01 (0.5 minute).......... 366 145 53,070
Maintenance Fee
Transactions.
4...................... Petition to Accept 172 172 1.......................... 172 400 68,800
Unintentionally
Delayed Payment
of Maintenance
Fee in an Expired
Patent (37 CFR
1.378(b)) (PTO/SB/
66).
5...................... Petition to Review 1 1 4.......................... 4 400 1,600
Refusal to Accept
Payment of
Maintenance Fee
Prior to
Expiration of
Patent (37 CFR
1.377).
6...................... Petition for 9 9 8.......................... 72 400 28,800
Reconsideration
of Decision on
Petition Refusing
to Accept Delayed
Payment of
Maintenance Fee
in an Expired
Patent (37 CFR
1.378(d)).
7...................... ``Fee Address'' 2,937 2,937 0.08 (5 minutes)........... 235 145 34,075
Indication Form
(PTO/SB/47).
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Totals............. .................. 40,454 40,454 ........................... 909 .............. 195,045
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\2\ 2019 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association
(AIPLA); https://www.aipla.org/detail/journal-issue/2019-report-of-the-economic-survey. The USPTO uses the mean rate for attorneys in private firms
which is $400 per hour. The hourly rate for paraprofessional/paralegals is estimated at $145 from data published in the 2018 Utilization and
Compensation Survey by the National Association of Legal Assistants (NALA).
Estimated Total Annual Cost Burden (Non-Hourly): $1,586,634,038.
This information collection has no capital start-up, maintenance, or
operating fees. This information collection does has filing fees and
postage costs. The filing fees are associated with the maintenance of
patents, which are listed in the table below. The total non-hour
respondent cost burden for this information collection in the form of
filing fees ($1,586,633,000) and postage costs ($1,038) is
approximately $1,586,634,038.
[[Page 22939]]
Table 3--Filing Fees--Non-Hour Cost Burden for Rules for Patent Maintenance Fees
----------------------------------------------------------------------------------------------------------------
Item No. Item Responses Filing fee Burden $
(a) (b) (a) x (b) =
(c)
----------------------------------------------------------------------------------------------------------------
1.............................. For Maintaining an Original or 220,200 $2,000 $440,400,000
Any Reissue Patent, Due at 3.5
Years (undiscounted entity).
1.............................. For Maintaining an Original or 49,000 1,000 49,000,000
Any Reissue Patent, Due at 3.5
Years (small entity).
1.............................. For Maintaining an Original or 4,500 500 2,250,000
Any Reissue Patent, Due at 3.5
Years (micro entity).
1.............................. For Maintaining an Original or 134,500 3,760 505,720,000
Any Reissue Patent, Due at 7.5
Years (undiscounted entity).
1.............................. For Maintaining an Original or 26,600 1,880 50,008,000
Any Reissue Patent, Due at 7.5
Years (small entity).
1.............................. For Maintaining an Original or 1,500 940 1,410,000
Any Reissue Patent, Due at 7.5
Years (micro entity).
1.............................. For Maintaining an Original or 63,800 7,700 491,260,000
Any Reissue Patent, Due at
11.5 Years (undiscounted
entity).
1.............................. For Maintaining an Original or 9,200 3,850 35,420,000
Any Reissue Patent, Due at
11.5 Years (small entity).
1.............................. For Maintaining an Original or 600 1,925 1,155,000
Any Reissue Patent, Due at
11.5 Years (micro entity).
1.............................. Surcharge--3.5 year--Late 3,600 500 1,800,000
Payment Within 6 Months
(undiscounted entity).
1.............................. Surcharge--3.5 year--Late 6,450 250 1,612,500
Payment Within 6 Months (small
entity).
1.............................. Surcharge--3.5 year--Late 1,200 125 150,000
Payment Within 6 Months (micro
entity).
1.............................. Surcharge--7.5 year--Late 2,550 500 1,275,000
Payment Within 6 Months
(undiscounted entity).
1.............................. Surcharge--7.5 year--Late 3,550 250 887,500
Payment Within 6 Months (small
entity).
1.............................. Surcharge--7.5 year--Late 450 125 56,250
Payment Within 6 Months (micro
entity).
1.............................. Surcharge--11.5 year--Late 1,450 500 725,000
Payment Within 6 Months
(undiscounted entity).
1.............................. Surcharge--11.5 year--Late 1,500 250 375,000
Payment Within 6 Months (small
entity).
1.............................. Surcharge--11.5 year--Late 250 125 31,250
Payment Within 6 Months (micro
entity).
3.............................. Petition for the Delayed 650 2,100 1,365,000
Payment of the Fee for
Maintaining a Patent in Force
(undiscounted entity).
3.............................. Petition for the Delayed 1,500 1,050 1,575,000
Payment of the Fee for
Maintaining a Patent in Force
(small entity).
3.............................. Petition for the Delayed 300 525 157,500
Payment of the Fee for
Maintaining a Patent in Force
(micro entity).
-----------------------------------------------
Totals.......................................................... .............. .............. 1,586,633,000
----------------------------------------------------------------------------------------------------------------
The public may submit the forms and petitions in this information
collection to the USPTO by mail through the United States Postal
Service. The USPTO estimates that the average postage cost for a mailed
submission, using a Priority Mail 2-day flat rate legal envelope, will
be $8.05. The USPTO estimates approximately 129 submissions per year
may be mailed to the USPTO, for a total postage cost of $1,038 per
year.
Respondent's Obligation: Required to obtain or retain benefits.
IV. Request for Comments
The USPTO is soliciting public comments to:
(a) Evaluate whether the proposed collection of information is
necessary for the proper performance of the functions of the Agency,
including whether the information will have practical utility;
(b) Evaluate the accuracy of the Agency's estimate of the burden of
the proposed collection of information, including the validity of the
methodology and assumptions used;
(c) Enhance the quality, utility, and clarity of the information to
be collected; and
(d) Minimize the burden of the collection of information on those
who are to respond, including through the use of appropriate automated,
electronic, mechanical, or other technological collection techniques or
other forms of information technology, e.g., permitting electronic
submission of responses.
All comments submitted in response to this notice are a matter of
public record. USPTO will include or summarize each comment in the
request to OMB to approve this information collection. Before including
an address, phone number, email address, or other personal identifying
information (PII) in a comment, be aware that the entire comment--
including PII--may be made publicly available at any time. While you
may ask in your comment to withhold PII from public view, USPTO cannot
guarantee that it will be able to do so.
Kimberly Hardy,
Information Collections Officer, Office of the Chief Administrative
Officer, United States Patent and Trademark Office.
[FR Doc. 2021-09035 Filed 4-29-21; 8:45 am]
BILLING CODE 3510-16-P
